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EFTA01296179 rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 6/15/2017 Alert Date: 6/15/2017 Added to Monitoring: 06/15/2017 Organization: Southern Financial LLC Address: C51Wily VIRGIN ISLANDS. U.S. Tracking ID: KYC 1790655 Reporting ID: Alerted Entity it. 1 of 4 Risk Priority: Critical Alert ID: 9476
Services Inc. Asheville. North Carolina. UNITED STATES • FRD - Fraud. Scams. Swindles / ASC - Associated with, Seen with, 02/04/2011 U.S. Attorney Anne M. Tompkins announced that. James W. "Bill" Bailey, Jr. had his initial appearance on three federal crirriinal counts. Securities Fraud. Mail Fraud and Filing F
2 mentions1 same-page
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8 EFTA01298149 rdc DB12000P - Deutsche Bank Private Bank Batch Date: 8/20/2018 Added to Monitoring: 08/20/2018 Alert Date: Alert 8/2012018 Organization: Southern Financial LLC Address: Country.VIRGIN ISLANDS, U.S. Tracking ID: KYC 01977703 Reporting ID: Alerted Entity ft. 1 of 2 Risk Priority: Critical Alert ID: Al
Services Inc. Asheville. North Carolina. UNITED STATES • FRD - Fraud, Scams. Swindles I ASC - Associated with, Seen with, 02/04/2011 U.S. Attorney Anne M. Tompkins announced that. James W. "Bin" Bailey, Jr. had his initial appearance on three federal crintinal counts. Securities Fraud. Mail Fraud and Filing Fal
2 mentions1 same-page
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DB-SDNY-0027433 EFTA_001751I I EFTA01299062 rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 05/29/2013 Alert Date: 05/29/2013 Organization: Southern Financial LLC Address: C!iuntry United States Tracking ID: 6229369 Reporting ID: 6229369 Alert #: 2 Entity Information Alert ID: 1559801.11522860.41603821
vices Inc. Address: Asheville. NC, UNITED STATES Event: . FRO - Fraud. Scams. Swindles ASC - Associated with, Seen with 02/04/2011, U.S. Attorney Anne M. Tompkins announced that James W. "Bill" Bailey, Jr. had his initial appearance on three federal criminal counts. Securities Fraud, Mail Fraud and Filing Fals
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2 mentions1 same-page
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DB-SDNY-0027355 EFTA_00175033 EFTA01299047 rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 05/29/2013 Alert Date: 05/29/2013 Organization: Southern Financial LLC Address: C!iuntiy United States Tracking ID: 6229369 Reporting ID: 6229369 Alert #: 2 Entity Information Alert ID: 1559801.11522860.41603821
vices Inc. Address: Asheville. NC, UNITED STATES Event: . FRO - Fraud. Scams. Swindles ASC - Associated with, Seen with 02/04/2011, U.S. Attorney Anne M. Tompkins announced that James W. "Bill" Bailey, Jr. had his initial appearance on three federal criminal counts. Securities Fraud, Mail Fraud and Filing Fals
2 mentions1 same-page
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rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 6/15/2017 Alert Date: 6/15/2017 Added to Monitoring: 06/15/2017 Organization: Southern Financial LLC Address: CourriMIN ISLANDS, U.S. Tracking ID: KYC Reporting ID: Alerted Entity # 3 of 4 Event: • FRD - Fraud, Scams, Swindles / ASC - Associat
ID: KYC Reporting ID: Alerted Entity # 3 of 4 Event: • FRD - Fraud, Scams, Swindles / ASC - Associated with. Seen with, 02/04/2011 U.S. Attorney Anne M. Tompkins announced that. James W. "Bilr Bailey, Jr. had his initial appearance on three federal criminal counts, Securities Fraud, Mail Fraud and Filing Fals
2 mentions1 same-page
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rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 2/22/2018 Alert Date: 2/22/2018 Added to Monitoring: 02/22/2018 Organization: Southern Financial LLC Address: ck,ui,:ry VIRGIN ISLANDS. U.S. Tracking ID: GCIS 00000483882 Reporting ID: Alerted Entity #: 2 of 3 Alert Notes Risk Priority: Criti
Press Releases 2009 to 2012 • SEC - SEC Violations (Insider Trading, Securities Fraud) / ASC - Associated with, Seen with. 02/04/2011 U.S. Attorney Anne M. Tompkins announced that. James W. "Bill" Bailey, Jr. had his initial appearance on three federal criminal counts, Securities Fraud, Mail Fraud and Filing Fal
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2 mentions1 same-page
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rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 2/22/2018 Alert Date: 2/22/2018 Added to Monitoring: 02/22/2018 Organization: Southern Financial LLC Address: ck,ui,:ry VIRGIN ISLANDS. U.S. Tracking ID: GCIS 00000483882 Reporting ID: Alerted Entity #: 2 of 3 Alert Notes Risk Priority: Criti
Press Releases 2009 to 2012 • SEC - SEC Violations (Insider Trading, Securities Fraud) / ASC - Associated with, Seen with. 02/04/2011 U.S. Attorney Anne M. Tompkins announced that. James W. "Bill" Bailey, Jr. had his initial appearance on three federal criminal counts, Securities Fraud, Mail Fraud and Filing Fal
2 mentions1 same-page
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rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 2/22/2018 Alert Date: 2/22/2018 Added to Monitoring: 02/22/2018 Organization: Southern Financial LLC Address: ck,ui,:ry VIRGIN ISLANDS. U.S. Tracking ID: GCIS 00000483882 Reporting ID: Alerted Entity #: 2 of 3 Alert Notes Risk Priority: Criti
Press Releases 2009 to 2012 • SEC - SEC Violations (Insider Trading, Securities Fraud) / ASC - Associated with, Seen with. 02/04/2011 U.S. Attorney Anne M. Tompkins announced that. James W. "Bill" Bailey, Jr. had his initial appearance on three federal criminal counts, Securities Fraud, Mail Fraud and Filing Fal
2 mentions1 same-page
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rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 2/22/2018 Alert Date: 2/22/2018 Added to Monitoring: 02/22/2018 Organization: Southern Financial LLC Address: ck,i.wfi), VIRGIN ISLANDS. U.S. Tracking ID: GCIS 00000483882 Reporting ID: Alerted Entity #: 2 of 3 Entity Information Risk Priorit
Services Inc. Asheville. North Carolina, UNITED STATES • FRD - Fraud, Scams. Swindles / ASC - Associated with, Seen with, 02/04/2011 U.S. Attorney Anne M. Tompkins announced that, James W. "Bill" Bailey, Jr. had his initial appearance on three federal criminal counts. Securities Fraud. Mail Fraud and Filing Fal
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2 mentions1 same-page
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rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 2/22/2018 Alert Date: 2/22/2018 Added to Monitoring: 02/22/2018 Organization: Southern Financial LLC Address: ck,i.wfi), VIRGIN ISLANDS. U.S. Tracking ID: GCIS 00000483882 Reporting ID: Alerted Entity #: 2 of 3 Entity Information Risk Priorit
Services Inc. Asheville. North Carolina, UNITED STATES • FRD - Fraud, Scams. Swindles / ASC - Associated with, Seen with, 02/04/2011 U.S. Attorney Anne M. Tompkins announced that, James W. "Bill" Bailey, Jr. had his initial appearance on three federal criminal counts. Securities Fraud. Mail Fraud and Filing Fal
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Mutual Connections (50)
Entities connected to both Organization: Southern Financial LLC and Anne M. Tompkins
George W. Bush
PERSON12 w/ Organization:·23 w/ Anne
Bailey
PERSON12 w/ Organization:·23 w/ Anne
Securities Fraud, Mail Fraud
ORGANIZATION12 w/ Organization:·23 w/ Anne
AVL Properties
ORGANIZATION12 w/ Organization:·23 w/ Anne
Asheville
LOCATION12 w/ Organization:·23 w/ Anne
ASC - Associated
ORGANIZATION12 w/ Organization:·23 w/ Anne
Southern Financial Services Inc.
ORGANIZATION12 w/ Organization:·21 w/ Anne
North Carolina
LOCATION21 w/ Organization:·6 w/ Anne
the Middle District
LOCATION22 w/ Organization:·4 w/ Anne
United States District Court
ORGANIZATION19 w/ Organization:·4 w/ Anne
RI
Riskid
PERSON14 w/ Organization:·6 w/ Anne
Dunlap
PERSON16 w/ Organization:·4 w/ Anne
the Securities and Exchange Commission
ORGANIZATION16 w/ Organization:·4 w/ Anne
Charleston
LOCATION11 w/ Organization:·5 w/ Anne
the United States District Court
ORGANIZATION11 w/ Organization:·4 w/ Anne
O'
O'Day
PERSON12 w/ Organization:·2 w/ Anne
Prince Charles
PERSON10 w/ Organization:·4 w/ Anne
RW
Richard M. Wooten
PERSON10 w/ Organization:·4 w/ Anne
SEC Administrative Proceedings - 2005
ORGANIZATION9 w/ Organization:·4 w/ Anne
UC Properties LLC
ORGANIZATION8 w/ Organization:·4 w/ Anne